The plaintiff, Christopher Evans, appeals from the judgment of the trial court, rendered after a trial to the court, denying his claim for hourly wages allegedly due from the defendants, Tiger Claw, Inc., David Hartmann, David Martel and Donald Martel.
The following facts were found by the court or are not disputed. Tiger Claw, Inc., was a start-up company when the plaintiff began working for the corporation in January, 2003. The individual defendants are corporate officers and hold various managerial positions within the company. Tiger Claw, Inc., manufactures hidden deck fasteners for the construction industry, and the plaintiff was hired to sell the fasteners and was compensated on a commission basis. Shortly after he joined the company, the plaintiff was asked and agreed to perform other administrative duties to be compensated at an hourly rate. According to the plaintiff, he and the defendants agreed that his hourly wages and his first $10,000 in commission earnings would be withheld and invested in shares of stock of Tiger Claw, Inc. After the plaintiff had accumulated $10,027.26 in sales commissions, which was set aside in a "stock fund," he was paid commissions for subsequent sales that he made and received 1099 forms for that income.
The plaintiff ceased doing noncommission, hourly administrative work in March, 2005. By letter dated April 7, 2005, the plaintiff was notified that his "relationship with Tiger Claw, Inc., [was] terminated." On October 13, 2006, the plaintiff filed a complaint with the department of labor for unpaid wages totaling $191,966.91. After an investigation, Blair F. Bertaccini, the wage enforcement agent, determined that certain costs had been deducted improperly from one of the plaintiff's commission checks and that the plaintiff was owed $3603.67 in unpaid wages. The plaintiff was unwilling to resolve his claim for that amount, and the complaint was withdrawn. On August 13, 2007, he commenced the present action against the defendants.
The plaintiff's operative complaint alleged that the defendants (1) failed to pay him hourly and commission wages and/or the shares of stock to which he was entitled
The plaintiff claims that the court improperly concluded that Bertaccini's investigation of the plaintiff's wage complaint filed with the department of labor precluded any further recovery by the plaintiff for hourly wages. The plaintiff argues that the investigation, conducted pursuant to General Statutes § 31-76a, did not bar his claim for unpaid wages in this action under the doctrine of res judicata. The defendants argue that Bertaccini's report was the determination of an administrative tribunal, that the plaintiff had sufficient opportunity to litigate his claims in that forum and that any adverse decision by that tribunal could have been appealed pursuant to the Uniform Administrative Procedure Act (UAPA), General Statutes § 4-166 et seq. We agree with the plaintiff and, accordingly, reverse that part of the trial court's judgment.
"The doctrine of res judicata holds that an existing final judgment rendered upon the merits without fraud or collusion, by a court of competent jurisdiction, is conclusive of causes of action and of facts or issues thereby litigated as to the parties and their privies in all other actions in the same or any other judicial tribunal of concurrent jurisdiction.... If the same cause of action is again sued on, the judgment is a bar with respect to any claims relating to the cause of action which were actually made or which might have been made." (Internal quotation marks omitted.) Powell v. Infinity Ins. Co., 282 Conn. 594, 600, 922 A.2d 1073 (2007). The applicability of the doctrine of res judicata presents a question of law subject to plenary review. Stein v. Horton, 99 Conn.App. 477, 481, 914 A.2d 606 (2007).
Under certain circumstances, the determination of an administrative tribunal will have res judicata effect with respect to
In the present case, the plaintiff filed his initial wage claim with the department of labor on October 13, 2006. The matter was assigned to Bertaccini, who conducted an investigation pursuant to § 31-76a.
Bertaccini's final report, indicating that the complaint was withdrawn, is dated March 22, 2007. On August 13, 2007, the plaintiff commenced the present action. The defendants argue that Bertaccini's determination was an adjudication by an administrative
"It is well established that the right to appeal an administrative action is created only by statute and a party must exercise that right in accordance with the statute in order for the court to have jurisdiction." (Internal quotation marks omitted.) Commission on Human Rights & Opportunities v. Human Rights Referee, 66 Conn.App. 196, 199, 783 A.2d 1214 (2001). "The UAPA grants the Superior Court jurisdiction over appeals of agency decisions only in certain limited and well delineated circumstances.... Judicial review of an administrative decision is governed by ... § 4-183(a) of the UAPA, which provides that [a] person who has exhausted all administrative remedies ... and who is aggrieved by a final decision may appeal to the superior court.... A final decision is defined in § 4-166(3)(A) as the agency determination in a contested case.... A contested case is defined in § 4-166(2) as a proceeding ... in which the legal rights, duties or privileges of a party are required by state statute or regulation to be determined by an agency after an opportunity for hearing or in which a hearing is in fact held.... Not every matter or issue determined by an agency qualifies for contested case status." (Citation omitted; emphasis in original; internal quotation marks omitted.) Ferguson Mechanical Co. v. Dept. of Public Works, 282 Conn. 764, 771-72, 924 A.2d 846 (2007). If the agency "was not under a statutory or regulatory mandate to conduct a hearing with respect to the plaintiff's allegations, there was no agency determination in a contested case." Id., at 778, 924 A.2d 846.
The defendants argue that the plaintiff could have requested a hearing pursuant to General Statutes § 4-176e,
For these reasons, we conclude that Bertaccini's decision did not have res judicata effect with respect to the plaintiff's wage claims in the present case
In their cross appeal, the defendants claim that the court improperly awarded the plaintiff $10,027.26 for unpaid commissions that had been withheld to purchase stock in the company. The defendants argue that given the clearly established two year statute of limitations period set forth in § 52-596, the court could not award the plaintiff $10,027.26 for unpaid sales commissions because those commissions were earned prior to October 12, 2004.
The defendants presented this same argument to the trial court in their posttrial brief. Donald Martel and Hartmann both testified at trial, under cross-examination, that the plaintiff never received the $10,027.26 that had been withheld to invest in corporate stock nor did the plaintiff receive any stock. The court, in its April 27, 2011 memorandum of decision, found that there was an agreement to purchase stock, that the plaintiff's earnings from his commissions were withheld in a "stock fund" and that $10,027.26 had accumulated in the stock fund as of the date of trial. The court further stated that although the plaintiff had abandoned his claim for the stock during the trial, he still claimed the amount held in the stock fund. In the court's articulation filed December 6, 2011, it stated: "$10,027.26 is due the plaintiff which represents the fund of accumulated commissions earned by the plaintiff which fund was to be used to purchase stock in Tiger Claw, Inc., which claim for stock was abandoned by the agreement of the parties during the course of the trial." No other references are made to the $10,027.26 claim or the stock fund in the memorandum of decision or the articulation. Further, although the court mentions the statute of limitations in its discussion with respect to unpaid hourly wages, no mention of § 52-596 is made in its discussion of the amount withheld in the stock fund.
Under these circumstances, we cannot conclude that the court's award of $10,027.26 to the plaintiff was improper. The record supports the court's findings that there was an agreement between the
The defendants claim that the court improperly determined that the individual defendants, in addition to the corporate defendant, were liable to the plaintiff for unpaid wages. They argue that the plaintiff failed to plead sufficient facts or to provide evidence showing that any of the individual defendants had the ultimate responsible authority to set the plaintiff's hours of employment and to pay his wages, and failed to show that any of the individual defendants specifically caused the wage violation. Citing Butler v. Hartford Technical Institute, Inc., 243 Conn. 454, 704 A.2d 222 (1997), the defendants claim that the plaintiff's failure to plead properly and to prove these elements requires a reversal of the judgment with respect to the individual defendants. We agree.
Butler v. Hartford Technical Institute, Inc., provides guidance on this issue. In Butler, the commissioner of labor sought to collect unpaid overtime wages allegedly owed by a corporate defendant and its president to a former employee. Id., at 455-56, 704 A.2d 222. Our Supreme Court held that the trial court properly determined that the president of the corporation was personally liable for the nonpayment of those wages as an "employer" within the meaning of General Statutes § 31-72,
In the present case, the plaintiff's operative complaint alleges that Hartmann: (1) represented himself as a partner of the Tiger Claw business, (2) was the business manager for the business, (3) was the chief executive officer of Tiger Claw, Inc., (4) hired the plaintiff as a commission salesman, (5) hired the plaintiff to perform administrative work, (6) offered to withhold the plaintiff's hourly earnings to purchase corporate stock for the plaintiff, (7) offered to invest $10,000 of the plaintiff's sales commissions in corporate stock and (8) failed to deliver the stock or account for the plaintiff's earnings. The allegations as to the other two individual defendants are similar, but less extensive. There are no distinct allegations that any of the individual defendants were solely responsible for the payment of the plaintiff's wages or that they controlled the plaintiff's hours. Further, no allegation is directed to any single defendant that he was the cause for withholding the stock or payment of the claimed wages and specifically caused the wage violation.
At trial, the plaintiff testified: "I was just supposed to keep track of my hours... to keep track of the stuff that I was doing." He further testified: "I was free to set my own hours, work my own schedule.... I worked as many or as few hours as I desired." He also confirmed that Tiger Claw, Inc., paid his commissions and expenses, and he was not paid personally by any of the individual defendants.
Donald Martel testified that the plaintiff "was working on his own, and he kept his own hours. But he worked whatever hours he felt he worked. It was no set time from eight to five, let's say. So we asked him if he ... could keep track of his hours." Hartmann testified: "I couldn't control him.... I mean his sales skills were really — that compensated for, well, let us tolerate the fact that we couldn't control him. But the hours, you know, as far as knowing when he was working, what he was doing, working to our schedules; no."
Our thorough review of the record reveals no testimony that contradicts the quoted testimony by the plaintiff, Hartmann and Donald Martel with respect to the defendants' lack of control over the plaintiff's hours. Further, there is no testimony or evidence that any of the individual defendants was solely responsible for the payment of the plaintiff's wages or that any one of them was the specific cause of a wage violation. Applying the holding in Baker, we conclude that there is no evidence in the record to support a finding that the individual defendants were personally liable, together with Tiger Claw, Inc., for the plaintiff's unpaid wages. Accordingly, we reverse that part of the trial court's judgment.
On the plaintiff's appeal, the judgment is reversed only as to the according of res judicata effect to the wage enforcement agent's determination of the plaintiff's wage claim and the case is remanded for a
In this opinion the other judges concurred.